RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••• A••••••• F•••••
- A••••••• W••••• A••••••• BD affiliated currentsince Aug 19, 2022 · Columbia, Sc
- K•••• M••••••••• formerDec 14, 2016 to Sep 30, 2022 · Columbia, Sc
- L•••• F••• A••••••• S••••••• BD affiliatedMar 9, 2016 to Dec 19, 2016 · Lexington, Sc
- K•••• M••••••••• to A••••••• W••••• A•••••••left Sep 30, 2022, registered Aug 19, 2022 (-42 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•••• F••• A••••••• S••••••• to K•••• M•••••••••left Dec 19, 2016, registered Dec 14, 2016 (-5 days) · Other
- J••• A••••••• F••••• left K•••• M••••••••• for A••••••• W••••• A••••••• (registered 2022-08-19)Sep 30, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address